SEC Complaint: WG Trading Investors, L.P., et al. - FINRA - Rules ...
SEC Complaint: WG Trading Investors, L.P., et al. - FINRA - Rules ...
SEC Complaint: WG Trading Investors, L.P., et al. - FINRA - Rules ...
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Plaintiff and approv<strong>al</strong> of this Court.<br />
XII.<br />
A Fin<strong>al</strong> Judgment ordering each of the Defendants and the Relief Defendants to disgorge<br />
their ill-gotten gains, plus prejudgment interest.<br />
XIII.<br />
A Fin<strong>al</strong> Judgment ordering the Defendants to pay civil money pen<strong>al</strong>ties pursuant to<br />
Section 20(d) of the Securities Act [15 U.S.C. § 77t(d)], Section 21(d)(3) of the Exchange Act<br />
[15 U.S.C. § 78u(d)(3)], and as to Westridge, Greenwood and W<strong>al</strong>sh pursuant to Section 209(e)<br />
of the Advisers Act [15 U.S.C. § 80b-9(e)].<br />
XIV.<br />
Such other and further relief as to this Court deems just and proper.<br />
Dated: New York, New York<br />
February 25, 2009<br />
Of Counsel<br />
David Rosenfeld<br />
Paul Gizzi<br />
Joseph Dever<br />
Thomas Smith<br />
Megan R. Gen<strong>et</strong><br />
By: ______________________________________<br />
James Clarkson<br />
Acting Region<strong>al</strong> Director<br />
New York Region<strong>al</strong> Office<br />
Attorney for Plaintiff<br />
Securities and Exchange Commission<br />
3 World Financi<strong>al</strong> Center, Suite 400<br />
New York, New York 10281-1022<br />
Telephone: (212) 336-1100<br />
Email: clarksonj@sec.gov<br />
22
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